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Money Manager's Compliance Guide

Money Manager's Compliance Guide | SEC Compliance Look Inside

The Dodd-Frank Act is full of items that will affect investment advisers. Do you know how you will keep up on the progress of those proposals? Plus, the SEC has tightened the rules that require investment advisers to submit to surprise examinations at their own expense. Do you know how those new rules will affect your firm’s standing? Thompson’s Money Manager’s Compliance Guide is the guide you need to stay in compliance and prevent costly fines and penalties.

    With the Money Manager’s Compliance Guide, you can:

    • Save time by staying informed about important financial reform topics
    • Protect your firm from noncompliance penalties and lawsuits
    • Stay in compliance with all applicable securities laws and regulations
    • Call the editor with unanswered questions — a special resource for subscribers

 

Major Topics Covered

The Money Manager’s Compliance Guide is an invaluable guide for chief compliance officers (CCOs) to help them achieve and maintain compliance with all applicable securities laws and regulations. Coverage includes Securities and Exchange Commission (SEC) registration and inspections; advertising and solicitation; liquidity and portfolio turnover; trading practices; Employee Retirement Income Security Act, fiduciary responsibilities; commodities regulation; personal trading prohibitions; subchapter M; contractual arrangements; the SEC, Department of Labor (DOL), Commodity Futures Trading Commission (CFTC) and state Blue Sky enforcement powers. The Guide spells out what you need to know to ensure compliance and avoid needless exposure to regulatory pressure, noncompliance penalties and lawsuits. Newsletters and Guide updates will keep you current on the latest SEC, CFTC and DOL regulations, enforcement practices and policies, court decisions and risk prevention procedures.

Featured Topics

• Investment Adviser and Investment Company Regulation
• Definitions, Exemptions, Structure and Operational Practices
• Sales Practices and Advertising
• ERISA Restrictions
• Regulation of Commodities
• Enforcement Guidance

Summary of Contents

100 Overview of the Industry
200 Investment Advisers
300 Investment Company: Definitions and Exemptions
400 Registered Investment Company Organization and Structure
500 Registered Investment Company Operational Practices
600 Registered Investment Company Sales Practices & Advertising
700 Alternatives to Registered Investment Company Structure
800 ERISA Restrictions
900 Regulation of Commodities
1000 Enforcement, Investment Advisers Act of 1940 & Rules
Appendices: Investment Company Act of 1940 & Rules, Other Rules and Notices, Related Statutes, Commission Releases, and Forms and Schedules
Index

 

Format and Frequency

  • Two-volume manual
  • Monthly updates

About Your Subscription

Your annual subscription includes published updates at no additional charge for the 12-month subscription period. If you have any questions about your subscription, please contact Client Services at 800-677-3789 or by emailing service@thompson.com

 

Authors and Editors

Clifford J. Alexander is a partner K&L Gates, LLP  in Washington, D.C. Alexander has specialized in investment company and securities law for more than 25 years. He previously worked as an analyst and attorney with the Securities and Exchange Commission. Clifford J. Alexander is author of Money Manager's Compliance Guide.


Arthur C. Delibert is a partner in the Washington, D.C., office of K&L Gates, LLP. He has more than 15 years of experience in securities and investment company law, representing investment companies, investment advisers, investment company independent trustees and fund distributors. Previously, he served in the Securities and Exchange Commission's Office of General Counsel and as legal counsel to an SEC commissioner. Arthur C. Delibert is author and contributing editor of Money Managers Compliance Guide.


Editorial Advisory Board for the Money Manager's Compliance Guide

Clifford J. Alexander, Esq.
Editor in Chief
K&L Gates LLP
Washington, DC

Michael R. Butowsky, Esq.
Partner
Jones Day
New York, NY

Arthur C. Delibert, Esq.
Partner
K&L Gates LLP
Washington, DC

Basil V. Godellas, Esq.
Partner
Winston & Strawn LLP
Chicago, IL

Cary J. Meer, Esq.
Partner
K&L Gates LLP
Washington, DC

David Pickle, Esq.
Partner
K&L Gates LLP
Washington, DC

 


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